Regulatory Monitoring Reviewer
Rutherford Cross
July 25, 2022
Hybrid, United Kingdom
Job Type
- Glasgow, - Edinburgh, - Aberdeen, - Dundee
Professional Services
Audit and Assurance


Rutherford Cross are delighted to be partnered with a long-standing professional body for the placement of a Regulatory Monitoring Reviewer into their business. This role is best suited to those who have previously worked or presently work in accounting practice.

In this role you will be responsible for the following:

  • To carry out regulatory monitoring visits and follow-up reviews throughout the year, including conducting opening and closing meetings, conducting reviews of client files and financial statements; writing reports; addressing responses; and working to prompt visit deadlines. Monitoring will focus on audit, anti-money laundering (AML) compliance, as well as other areas of general accountancy practice (currently referred to as Practice Monitoring)
  • Conducting other specific tasks as and when required in assisting in operational aspects of the monitoring function, including reporting of data, updating procedures/guidance, writing articles, and presenting webinars for the benefit of members and firms
  • Participating in team and centre meetings, including leading of agenda items as required. Representing the business at external monitoring-related meetings and providing post-meeting feedback to work colleagues. Building relationships based on those meetings
  • Conducting such regulatory monitoring work which the business may, from time to time, be contracted to perform for third parties, in the UK, and overseas, as required. Contributing to any other commercial contracts as and when required & meeting any deadlines set
  • Ensuring that the business website content in relation to all regulatory monitoring areas is up to date, including help sheets
  • Providing quality advice and assistance to individuals who submit queries to the business in relation to issues which the role-holder’s knowledge and experience (whether internal or external queries)
  • Reporting to the Authorisation Committee, Regulation Board, and other company governance bodies, in relation to monitoring-related issues

To be successful in this role you will have:

  • Qualified accountant, with an accountancy degree
  • Experience of working in an accountancy practice
  • 5 years PQE
  • IFRS
  • Money Laundering Regulations
  • Taxation knowledge and other technical knowledge of activities
  • A clear understanding of the general practice environment and a sympathetic understanding of the significance of quality assurance in that environment

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